Equity Capital Markets – Compliance – New York

Berenberg Capital Markets

Berenberg Capital Markets LLC (BCM) is a FINRA-registered US-based broker-dealer; its headquarters are located in New York, with branches in Boston and San Francisco. BCM is a wholly owned, independent subsidiary of Joh. Berenberg, Gossler & Co. KG (Berenberg), one of Europes leading privately-owned banks, established in 1590. Together BCM and Berenberg cover approximately 1000 European and US equities, with a 140+ person research department based out of London and NYC. Building on its strength and expertise across multiple industries, BCM continues to rapidly expand the breadth of research, sales, trading and capital markets services it offers, in order to assist its institutional and corporate clients access to the global equity markets. BCM adopts the same principles as its parent company and is committed to building long-term relationships with its clients based on high levels of accountability, responsibility, insight, vision and expertise.

Equity Capital Markets Compliance Officer- New York


-Candidate shall work within existing compliance team, primarily providing advisory support to the Equity Capital Markets (ECM) department of BCM with additional exposure to Institutional Sales Trading & Equity Research business lines.

-Real-time advice/guidance to ECM and syndicate personnel related to origination, execution and structuring of initial public offerings, follow-ons, registered and unregistered blocks, private placements, SPACs, PIPEs, corporate buy-backs and At-the-Market Offerings.

-Coordination with ECM personnel regarding transaction planning, oversight and reporting.

-Addressing queries/issues from ECM and syndicate personnel related to ECM policies and compliance with self-regulatory and federal securities laws.

-Proactive monitoring of regulatory changes/trends and evolving business practices with respect to ECM transactions for effective risk management.

-Additional responsibilities will include development, preparation and maintenance of compliance policies and procedures for ECM Department, developing and executing monitoring activities and enhancing control room functions, and delivering compliance training to Firm personnel in coordination with Compliance and Legal units.


– 5+ years of direct relevant experience is preferred

– Bachelor’s degree required. JD degree or regulatory experience a plus

– FINRA Series 7 & 79 preferred

– Experience with Experienced with: Securities Act of 1933 (e.g. Rules 134, 144, 144A, 433, 482 etc), Exchange Act of 1934 (e.g. Sec 15(g), Regulation M, Regulation S, Rules 10b-5 & 10b-18)

– Prior experience in a multi-national institution with cross-border transactional experience and understanding of SEC Rule 15a-6 highly preferred

– Must possess strong analytical problem solving ability with a view to communicating findings effectively across all levels of management

– Well organized with ability to manage multiple matters concurrently

– Demonstrated ability to work proactively; as well as coordinate/contribute to projects that require a collaborative approach from multiple divisions

To apply for this job please visit www.goinhouse.com.

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